Compliance EXPERT

RegTec Global's Compliance EXPERT (EXperienced Professional in Exchange Regulated Technologies) is a regulatory and compliance support program for small to mid-sized Broker Dealers lacking the resources to hire a dedicated in-house Compliance team.

Because of the constantly changing regulatory environment, all exchange members need to stay on top of compliance news and changes. RGTS’s Compliance EXPERT service provides clients with the same level of service they could expect from a dedicated internal compliance team at a fraction of the cost.

Introductory - This package offers the Compliance EXPERT alert service. It provides exchange regulation coverage saving members time and the hassles of reading through various regulatory bulletins and scouring websites. The EXPERT Alerts cover topics such as new rules submitted to the SEC, key system changes being implemented at an exchange, and the impact these events may have on the members. Alerts are customized based on which exchanges are relevant to the subscriber.

Standard - In addition to receiving the Compliance EXPERT alerts, RGTS will draft all compliance related procedures and policies for the firm. Firms using this package will also have access to compliance professionals at RGTS to answer any regulatory questions, refer the firm to solutions, answers, and handle routine exchange exams.

Premium - In addition to the above services, RGTS will also conduct required training sessions (AML, IT, etc.) for firm and conducts one full audit a year.

Additional services can be added including FOCUS reports, net capital computations, representation in arbitration cases, and automated solutions.